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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option To Purchase Common Stock | $ 2.73 | 04/28/2010(4) | 04/28/2019 | Common Stock, $.0001 Par Value | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 12.2 | 11/28/2002(5) | 11/28/2011 | Common Stock, $.0001 Par Value | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 17.8 | 01/02/2003(5) | 01/02/2012 | Common Stock, $.0001 Par Value | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 5.8 | 01/02/2004(5) | 01/02/2013 | Common Stock, $.0001 Par Value | 91,698 | 91,698 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.03 | 01/02/2005(5) | 01/02/2014 | Common Stock, $.0001 Par Value | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 6.36 | 01/03/2006(5) | 01/03/2015 | Common Stock, $.0001 Par Value | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.54 | 01/03/2007(5) | 01/03/2016 | Common Stock, $.0001 Par Value | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 3.46 | 01/02/2008(4) | 01/02/2017 | Common Stock, $.0001 Par Value | 66,667 | 66,667 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.7 | 01/02/2009(4) | 01/02/2018 | Common Stock, $.0001 Par Value | 130,000 | 130,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.7 | 01/02/2009(4) | 01/02/2018 | Common Stock, $.0001 Par Value | 70,000 | 70,000 | D | ||||||||
Option To Purchase Common Stock | $ 6.52 | 04/29/2009(4) | 04/29/2018 | Common Stock, $.0001 Par Value | 112,500 | 112,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRIEDMAN RICHARD H 100 CLEARBROOK ROAD ELMSFORD, NY 10523 |
X | Chairman of the Board and CEO |
/s/ Barry A. Posner, attorney-in-fact for Mr. Friedman | 04/28/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 10,000 shares owned jointly with Mr. Friedman's spouse. |
(2) | Vest and become non-forfeitable on the one year anniversary of the grant date. |
(3) | Shares of Common Stock are owned by the Richard H. Friedman Grantor Retained Annuity Trust dated June 22, 2009. The 250,000 shares held in the trust were transferred to the trust by Mr. Friedman on June 22, 2009. Mr. Friedman is trustee of the trust and has sole voting and dispositive power with respect to these shares of Common Stock. |
(4) | Vests and becomes exercisable in three equal annual installments commencing on the first anniversary of the date of grant. |
(5) | Fully Vested |